module n ° 6 – sms regulation

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Revision N° 13 ICAO Safety Management Systems (SMS) Course 06/05/09 Module N° 6 – SMS regulation

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Module N ° 6 – SMS regulation. Course structure. S afety. Module 10 Phased approach to SSP and SMS Implementation. Module 10 Phased approach to SSP and SMS Implementation. M anagement. S ystem. Module 8 SMS planning. Module 9 SMS operation. Module 8 SMS planning. Module 9 - PowerPoint PPT Presentation

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Page 1: Module N ° 6 – SMS regulation

Revision N° 13 ICAO Safety Management Systems (SMS) Course 06/05/09

Module N° 6 – SMSregulation

Page 2: Module N ° 6 – SMS regulation

Module N° 6 ICAO Safety Management Systems (SMS) Course 2

Course structure

Module 1SMS course introduction

Module 2Basic safety

concepts

Module 3 Introduction

to safety management

Module 4Hazards

Module 5Risks

Module 6SMS regulation

Module 7Introduction to SMS

Module 8SMS planning

Module 9SMS operation

Module 10Phased approach to

SSP and SMS Implementation

SafetyManagementSystem

Module 6SMS regulation

Module 7Introduction to SMS

Module 8SMS planning

Module 9SMS operation

Module 10Phased approach to

SSP and SMS Implementation

Page 3: Module N ° 6 – SMS regulation

Module N° 6 ICAO Safety Management Systems (SMS) Course 3

Objective

At the end of this module participants will be able to

describe the safety management requirements included in

Annexes 1, 6, 8, 11, 13 and 14, including the relationship

between a State safety programme (SSP) and an SMS

Page 4: Module N ° 6 – SMS regulation

Module N° 6 ICAO Safety Management Systems (SMS) Course 4

Outline

SSP and SMS requirements What is an SSP? What is an SMS? Acceptable level of safety (ALoS) – Implementation, scope

and legal considerations Safety performance of the service provider’s SMS Performance-based regulatory environment Questions and answers Points to remember

Page 5: Module N ° 6 – SMS regulation

Module N° 6 ICAO Safety Management Systems (SMS) Course 5

The big picture

Two audience groupsStatesService providers

Three distinct requirementsState safety programme (SSP)

Acceptable level of safety (ALoS) Safety management System (SMS)

Safety performance of the SMSManagement accountability

Page 6: Module N ° 6 – SMS regulation

Module N° 6 ICAO Safety Management Systems (SMS) Course 6

Basic safety management SARPs – Part I

States shall establish a State safety programme (SSP), in

order to achieve an acceptable level of safety in civil

aviation.

The ICAO SSP framework (Module 10)

Page 7: Module N ° 6 – SMS regulation

Module N° 6 ICAO Safety Management Systems (SMS) Course 7

What is an SSP?An integrated set of regulations and activities aimed at

improving safety.States are responsible for establishing an SSP,

encompassing the following responsibilities:Safety regulationAccident/incident investigationSafety assurance

Mandatory/voluntary reporting systems

Safety data analysis and exchange

Safety promotionFurther discussed in Module 10

Page 8: Module N ° 6 – SMS regulation

Module N° 6 ICAO Safety Management Systems (SMS) Course 8

Basic safety management SARPs

The acceptable level of safety (ALoS) to be achieved shall

be established by the State

When establishing ALoS, consideration must be given to

The level of safety risk that applies

The safety risk tolerance

The cost/benefits of improvements to the aviation system

The public expectations in civil aviation system

Page 9: Module N ° 6 – SMS regulation

Module N° 6 ICAO Safety Management Systems (SMS) Course 9

Safety indicators and safety targets

Safety indicators Fatal airline accidents/serious incidentsRunway excursion events/ground collision eventsDevelopment/absence of primary aviation legislationDevelopment/absence of operating regulationsLevel of regulatory compliance…

Safety targetsReduction in fatal airline accident/serious incidentsReduction in runway excursion events/ground collision

eventsNumber of inspections completed quarterly…

Page 10: Module N ° 6 – SMS regulation

Module N° 6 ICAO Safety Management Systems (SMS) Course 10

Values of safety indicators and safety targets – Examples

Value of safety indicators

1. [Rate/number] Fatal airline accidents per [number] operations

2. [Rate/number] Runway excursion events per [number] operations

3. [Rate/number] Ground collision events per [number]

operations4. [Number] inspections to

operators completed [timeframe] ...

Value of safety targets

1. [Reduction by/maximum] fatal airline accidents per

[number] operations2. [Reduction by/maximum]

runway excursion events per [number] operations

3. [Reduction by /maximum] ground collision events per [number] operations

4. [Minimum number] of inspections completed [timeframe]…

Page 11: Module N ° 6 – SMS regulation

Module N° 6 ICAO Safety Management Systems (SMS) Course 11

Delivering ALoS – Safety action plans

Tools and means to deliver the safety targets of an SSP:

Operational procedures

Technology

Systems

Training programmes

Page 12: Module N ° 6 – SMS regulation

Module N° 6 ICAO Safety Management Systems (SMS) Course 12

ALoS – Example

Values of safety targets

1. Reduce by/maximum] CFIT and approach and landing accidents per [number] departures

2. [Minimum number] inspections to operators completed quarterly 3. ...

Actionplans

1. CFIT training package distributed to industry and supported by training courses

2. Revision and if necessary update of hiring policy. Inspection manual updated

3. ...

Values of safety indicators

1. Number] CFIT and approach and landing accidents per [number] departures

2. [Number] inspection to operators completed quarterly3. ...

State Will comply all applicable international standards.

Page 13: Module N ° 6 – SMS regulation

Module N° 6 ICAO Safety Management Systems (SMS) Course 13

ALoS of an SSP

Legal considerations

Establishing ALoS for the SSP does not replace legal, regulatory, or other already established requirements, but it must support compliance with them

Establishing ALoS for the SSP leaves unaffected the obligations of States, and does not relieve States from compliance with SARPs

Page 14: Module N ° 6 – SMS regulation

Module N° 6 ICAO Safety Management Systems (SMS) Course 14

A fundamental differentiation

Safety measurementQuantification of the outcomes of high-level or high-

consequence events Accident rates Serious incident rates

Quantification of high-level State functionsDevelopment/absence of primary aviation legislationDevelopment/absence of operating regulationsLevel of regulatory compliance

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Module N° 6 ICAO Safety Management Systems (SMS) Course 15

A fundamental differentiation

Safety performance measurement Quantification of the outcomes of low-level, low

consequences processesNumber of FOD events per number of ramp OPSNumber of ground vehicle events in taxiways per

number of airport OPS Provide a measure of the actual performance of an

individual SSP or SMS (Beyond accident rates and regulatory compliance)

Page 16: Module N ° 6 – SMS regulation

Module N° 6 ICAO Safety Management Systems (SMS) Course 16

A fundamental differentiation

Safety measurementNot a continuous process.A spot check.Conducted following pre-specified timeframes.

Safety performance measurementContinuous process.Monitoring and measurement of selected operational

activities necessary for the provision of services.

Page 17: Module N ° 6 – SMS regulation

Module N° 6 ICAO Safety Management Systems (SMS) Course 17

Basic safety management SARPs – Part II

States shall require, as part of their State safety programme (SSP), that a [service provider] implements a safety management system (SMS) acceptable to the State that, as a minimum:

a) identifies safety hazards;

b) ensures that remedial action necessary to maintain safety performance is implemented;

c) provides for continuous monitoring and regular assessment of the safety performance; and

d) aims at a continuous improvement of the overall performance of the SMS.

Page 18: Module N ° 6 – SMS regulation

Module N° 6 ICAO Safety Management Systems (SMS) Course 18

Service providers

Approved training organizations that are exposed to safety risks during the provision of their services

Aircraft operatorsApproved maintenance organizationsOrganizations responsible for design and/or manufacture of

aircraftAir traffic services providersCertified aerodromes

The ICAO SMS framework (Module 8)

Page 19: Module N ° 6 – SMS regulation

Module N° 6 ICAO Safety Management Systems (SMS) Course 19

What is an SMS?

A systematic approach to managing safety, including the necessary organizational structures, accountabilities, policies and procedures

Service providers are responsible for establishing an SMS

States are responsible, under the SSP, for the acceptance and oversight of organizations’ SMS

Page 20: Module N ° 6 – SMS regulation

Module N° 6 ICAO Safety Management Systems (SMS) Course 20

Safety performance of services provider’s SMS

Expresses the safety objectives of a service provider.Provides measurable reference for measuring the safety

performance of an SMSWithin each State, the safety performance of each SMS

will separately be agreed between the State oversight authority and individual aviation organizations

Agreed safety performance should be commensurate to the: complexity of individual service provider specific

operational context; and availability of service provider resources to address

them

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Module N° 6 ICAO Safety Management Systems (SMS) Course 21

Safety performance of an SMS

The safety performance of an SMS represents safety performance measurement exclusively

The safety performance of an SMS is expressed in practical terms by two measures or metrics:

Safety performance indicators

Safety performance targets

It is delivered through various tools and means:

Safety requirements

Page 22: Module N ° 6 – SMS regulation

Module N° 6 ICAO Safety Management Systems (SMS) Course 22

Safety performance of an SMS

Safety performance indicatorsShort-term, tactical, measurable objectives reflecting the

safety performance of an SMSThey include safety performance measurement exclusivelyExpressed in numerical terms

Safety performance targetsLong-term, strategic, measurable objectives reflecting the

safety performance of an SMSThey include safety performance measurement exclusively.Expressed in numerical terms

Page 23: Module N ° 6 – SMS regulation

Module N° 6 ICAO Safety Management Systems (SMS) Course 23

Safety performance of an SMS

Legal considerations

Establishing safety performance for the SMS leaves

unaffected the obligations of services providers and

other related parties, and it does not relieve the services

providers and other related parties from compliance with

SARPs and/or national regulations, as applicable

Page 24: Module N ° 6 – SMS regulation

Module N° 6 ICAO Safety Management Systems (SMS) Course 24

Safety performance of an SMS

Action Plans

1. Training course for drivers / installation of specific signage.

2. Thrice-daily walk-in ramp inspection programme.

3. …

Safety performance targets

1. Maintain no more than 20 events of unauthorized vehicles on the taxiways per 10,000 operations.

2. By January 2010 reduce to 8 FOD events on the apron per 10,000 operations.

3. …

Safety performance indicators

1. 20 events of unauthorized vehicles on the taxiways per 10,000 operations.

2. 15 FOD events on the apron per 10,000 operations.

3. ...

Service provider Will comply all applicable national and international standards.

Page 25: Module N ° 6 – SMS regulation

Module N° 6 ICAO Safety Management Systems (SMS) Course 25

Basic safety management SARPs – Part III

A safety management system (SMS) shall clearly define

lines of safety accountability throughout a service provider

organization, including a direct accountability for safety

on the part of senior management

(Accountability – Obligation or willingness to account for

one’s actions)

Page 26: Module N ° 6 – SMS regulation

Module N° 6 ICAO Safety Management Systems (SMS) Course 26

SSP – SMS relationshipProtection Production

StateSafety

Programme (SSP)

Organization’sSafety

Management system (SMS)

Service delivery

Objective:Safety riskmanagement

Objective:Safety riskmanagement

Objective:Support productiongoals andcustomer satisfaction

Safety assurance

AcceptanceCompliance

oversight

Performance-based oversight

Page 27: Module N ° 6 – SMS regulation

Module N° 6 ICAO Safety Management Systems (SMS) Course 27

In summary

State Service provider

States shall establish a State safety programme (SSP), in order to achieve an acceptable level of safety (ALoS) in civil aviation.

The acceptable level of safety (ALoS) to be achieved shall be established by the State.

Identify safety hazards.Ensure remedial action to

maintain safety performance.

Provides continuing monitoring and regular assessment of the safety performance.

Aims at a continuous improvement of the overall performance of the SMS.

Page 28: Module N ° 6 – SMS regulation

Module N° 6 ICAO Safety Management Systems (SMS) Course 28

The objective (Remember Module 1?)

Safetymanagement

ICAOSARPS

Performancebased

PrescriptivePrescriptive

Realisticimplementation

Page 29: Module N ° 6 – SMS regulation

Module N° 6 ICAO Safety Management Systems (SMS) Course 29

In summary

Prescription Performance2.1 Safety requirements for service providers

SMS

The State has established the controls which govern how service providers will identify hazards and manage safety risks.

3.1 Safety oversight

The State has established mechanisms to ensure an effective monitoring of the eight critical elements of the safety oversight function.

2.2 Agreement on service providers’ safety performanceThe State has agreed with individual service providers on the safety performance of their SMS.

3.2 Safety data collection, analysis and exchangeThe State has established mechanisms to ensure the capture and storage of data on hazards and safety risks at both an individual and aggregate State’s level.

3.3 Safety data driven targeting of oversight on areas of greater concern or needThe State has established procedures to prioritize inspections, audits and surveys towards those areas of greater safety concern or need, as identified by the analysis of data on hazards, their consequences in operations, and the assessed safety risks.

Page 30: Module N ° 6 – SMS regulation

Module N° 6 ICAO Safety Management Systems (SMS) Course 30

In summary

Action plans

1. Training course for drivers / installation of specific signage.

2. Thrice-daily walk-in ramp inspection programme.

3. …

Safety performance targets

1. Maintain no more than 20 events of unauthorized vehicles on the taxiways per 10,000 operations.

2. By January 2009 reduce to 8 FOD events on the apron per 10,000 operations.

3. …

Safety performance indicators

1. 20 events of unauthorized vehicles on the taxiways per 10,000 operations.

2. 15 FOD events on the apron per 10,000 operations.

3. ...

Service provider Will comply all applicable national and international standards.

Page 31: Module N ° 6 – SMS regulation

Module N° 6 ICAO Safety Management Systems (SMS) Course 31

Questions and answersSMS regulation

Page 32: Module N ° 6 – SMS regulation

Module N° 6 ICAO Safety Management Systems (SMS) Course 32

Questions and answers

Q: What are the main responsibilities in a State safety programme (SSP)?

A: Safety regulationAccident/incident investigationSafety assurance

Mandatory/voluntary reporting systemsSafety data analysis and exchange

Safety promotion

Slide number: 7

Page 33: Module N ° 6 – SMS regulation

Module N° 6 ICAO Safety Management Systems (SMS) Course 33

Questions and answers

Q: What is a safety management system (SMS)?

A:

A systematic approach to managing safety, including the

necessary organizational structures, accountabilities,

policies and procedures.

Slide number: 19

Page 34: Module N ° 6 – SMS regulation

Module N° 6 ICAO Safety Management Systems (SMS) Course 34

Points to remember

1. SSP2. SMS3. Acceptable of level of safety (ALoS)4. Safety performance of the SMS5. Management accountability6. Prescription vs. Performance

Page 35: Module N ° 6 – SMS regulation

Revision N° 13 ICAO Safety Management Systems (SMS) Course 06/05/09

Module N° 6 – SMSregulation